Financial Education in Your Community

A Grant Program from the FINRA Foundation & United Way

Grant Application

Please complete this application form to provide the Financial Education in Your Community grant committee with an understanding of your organization and the project you wish to undertake.

Instructions

Save this application form using a file name that contains the name of your organization.

Complete all parts of the application.

The completed application may be a maximum oftwelve (12) pages in length including the timeline, budget, and budget narrative.Do not include this instruction sheet.

Use Arial 10-point or Times New Roman 12-point font.

Use only one side of each page, and number the pages.

Save a final copy of your application.

Submit the completed application as an e-mail attachment to sing the subject line: “Application from [insert organization name]”. For example: “Application from ABC Neighborhood Partnership.”

Application Deadline: Grant applications must be received by 5:00 p.m. Eastern time onFriday, June 7, 2013.

Section One: Applicant Contact Information

By submitting this application, the grant applicant represents that the proposed Project Principal has not been convicted or found in violation of any state or federal securities laws, has not been enjoined or sanctioned by any regulatory authority for those types of violations, and is not named as a defendant in any pending federal action alleging securities law violations. This representation is required of the grant applicant because the FINRA Foundation receives a portion of its grant-making funds from a settlement fund governed by a federal court order that imposes certain limits on who may receive these funds.

Organization

Name:

Address:

City, State, Zip

Phone number

Fax number

EIN number:

Web site:

CEO/Executive Director

First name:Middle initial:Last name:

Title:

Phone number:

Fax number:

E-mail address:

Project Principal

If different from above. This is the person who will lead the project. All communications regarding the project will be directed to this individual. You may indicate only one project principal.

First name:Middle initial:Last name:

Title:

Phone number:

Fax number:

E-mail address:

Section Two: Applicant Organization Information

Year applicant organization founded:

Number of clients served per year:

Geographic area served:

Number of paid staff:

Indicate in full time equivalents (FTEs)

Current operating budget: $

Include the applicant organization’s operating budget minus amounts for affiliate funding.

Mission statement (25 words or less):

Qualifications of the applicant organization(250 words or less):

Briefly describe the 501(c)(3) applicant organization, including its governance structure. Explain why the organization is well qualified to receive funding for the proposed project. Describe the infrastructure and resources available to support the successful completion of the proposed project.

Section Three: Project Description

A. Purpose of request (25 words or less):

“This grant will be used to…”

B. Short description:

Describe your project in 3-4 sentences.

C. Target population(s) to be served:

Provide a detailed description of the people whose financial capability will be addressed by the project. Include the number to be served and relevant demographic information.

D. Describe the need for financial or investor education among your target population:

Include evidence that demonstrates your understanding of the target population’s financial goals, the current obstacles to achieving their goals, and how your project will help them to overcome those obstacles.

E.Project duration:

Indicate duration in months. Projects should be completed in 24 months.

F. Grant amount requested:

Please indicate an amount between $5,000 and $150,000. Applicants should consider the scope of the proposed project and the size of the population served when determining the amount of grant funding requested.

G. Workplan:

Please describe the proposed project in detail. Explain the activities and strategies you will undertake, making certain that they are consistent with the goals and outcomes specified in Section I below. Your workplanshould include the following elements.

  • How the project will address the need for financial/investor education for working individuals and families in your community
  • The method you will use to deliver financial education (e.g. classroom-based training, individual coaching, etc.)
  • The individuals that will deliver the education (staff, volunteers)
  • The financial education resources that will be used
  • The communications, marketing and outreach strategies you will use to engage the target audience (The quality of the project marketing and outreach plan will be a major factor in funding decisions)
  • The community-based organizations that you will partner with and how they will contribute to the success of the project

H. Explain why you have adopted the approach described in the workplan:

I. List up to three goals that indicate how the target audience will benefit from the project:

For each goal, provide up to three measurable outcomes that serve as indicators of the completeness and success of the project.

J. Describe how the outcomes described above will be measured:

Include your plan for assessing knowledge, skill, attitude and behavior change among target populations,as appropriate, as well as how you will evaluate progress toward achieving your results/outcomes.

K. Describe the qualifications (including academic credentials) and past achievements of the project principal:

L. How will the project continue after grant funding ends?

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Section Four: Project Timeline

Provide a timeline for your project. The earliest start date for your project should be February, 2014.

Start Date / End Date /

Activities

/ Outputs
(Units of service delivered or number of people served)
What did the program do?
Who did the program reach? / Results/Outcomes Achieved as a Result of Your Activity
(Changes or benefits to the target audience as a result of the activities)
Why does the activity matter?
What difference will the activity make for the target audience?
#1 / 2/1/2014 / 4/30/2014
#2 / 5/1/2014 / 7/31/2014
#3 / 8/1/2014 / 10/31/2014
#4 / 11/1/2014 / 1/31/2014
#5 / 3/31/2015 / 6/30/2015
#6 / 7/1/2015 / 9/30/2015
#7 / 10/1/2015 / 12/31/2015
#8 / 1/1/2016 / 3/31/2016

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Section Five: Budget and Budget Narrative

Provide a line-item budget for your project using the template below, followed by a budget narrative. Grant funds may only be used for local outreach activities, materials and supplies relevant to financial and investor education, and to provide direct financial and investor education services to the community. Grant funds may not be used to purchase equipment (such as computer hardware, phones and cameras). Be sure to consider any costs related to marketing and evaluating your project.

NOTE that indirect costs or overhead must not exceed 10% of the direct costs funded by the grant. Indirect costs are calculated by adding the direct costs and multiplying by .10.

  1. Budget

Item / Grant request
Direct
Indirect
Total Grant Request
  1. Budget narrative

Explain each line item in the budget in detail.

  1. Other funding sources

If more than one funding source is involved in the project, identify the other funding sources, the amounts they will fund, and the line items included in their funding.

  1. In-kind contributions

Please identify any in-kind contributions being made to the project.

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